1. Open Access: the post 2014 REF and the University Publications Policy Pat Spoor Nicola Barnett June 2015 research@library.leeds.ac.uk

2. HEFCE policy on open access The policy states that certain outputs must be available in an open-access form to be eligible for submission to the next REF

3. The policy applies to: Journal articles accepted for publication from 1 st April 2016 Conference papers [with an ISSN] accepted for publication from 1 st April 2016

4. Implementing HEFCE requirements from April 2015 Encouraged by HEFCE Raising author awareness Testing new processes and systems Assessing Library staffing requirements Monitoring compliance

6. What is meant by date of acceptance?

8. Add metadata (red star = mandatory field)

9. Enter the date of acceptance (also vital)

10. What happens next? Where no embargo applies, the Library has one month to make the full text available in WRRO Where the publisher requires an embargo, this will be applied and the item made open access as soon as it expires Where the wrong file has been deposited or no date of acceptance provided we will contact the author and the school support contact asap We will only contact you if there is a problem

12. Policy exceptions These are set out in the HEFCE policy document o Deposit o Access o Technical o Other Where a journal or conference paper covered by the policy is not compliant, and is not covered by an exception, it will not be eligible for submission to the REF

13. Deposit exceptions (3 month deadline doesn’t apply – but must still be deposited at the first possible opportunity): Individual was not employed by a UK HEI at the point of acceptance Individual was unable to secure the use of a repository Individual experienced a delay securing the final peer-reviewed text (e.g. for multi-authored papers) It would be unlawful, or present a security risk, to deposit the output

14. Access exceptions (these outputs must still be deposited): Output depends on third party content for which open access rights could not be granted The publication concerned requires an embargo period that exceeds the stated maxima, and was the most appropriate for the output The publication concerned actively disallows open-access deposit, and was the most appropriate for the output

15. Technical exceptions (3 month deadline doesn’t apply – but must still be deposited at the first possible opportunity): At acceptance, the individual was at a different UK HEI that failed to comply A short-term technical failure within the repository prevented compliance An external service provider failure prevented compliance (e.g. a subject repository ceased to operate)

16. Tell us about any exceptions

17. HEFCE audit of compliance Provisional guidelines available http://tinyurl.com/http-hefce-ac-uk-oaaudit Emphasis on processes and systems Expectation - small number of exceptions. RIS will contact you to collect some more information.

18. Monitoring REF compliance No easy way of doing this Library will work with School contacts to periodically produce lists of submitted items so schools/faculties can check and report on what’s missing OA Monitor

19. What is not covered by the HEFCE policy? Monographs and other long-form publications Non-text, creative and practice-based research Research data However, where an institution can demonstrate that it has taken steps towards enabling open access for outputs outside the scope of the policy, credit will be given in the research environment component of the post-2014 REF.

20. Updated University Publications policy Takes effect from April 2015 - in preparation for the HEFCE requirements Requires outputs to be deposited at the point of acceptance for publication Applies, where practical, to all forms of publications Requires publications to be linked to grants in Symplectic Encourages authors to sign up for an ORCiD identifier http://orcid.org/ http://orcid.org/

21. Pre-April 2015 publications Do not create a manual record The author should Wait till they are notified that a record has been added to Symplectic Check and claim it in Symplectic Upload the author accepted manuscript (AAM) – unless they have paid for gold OA Gold OA means that the published version can be uploaded

22. Don’t forget about funder policies Check them at http://www.sherpa.ac.uk/juliet/http://www.sherpa.ac.uk/juliet/ You may need to – Use a specific licence eg. CC-BY – Publish in a journal that will deposit the full text in PubMed Central or similar repository within a time limit – Acknowledge funder in the paper – Provide access to research data

23. Further information/help Guides in Symplectic Help menu https://publications.leeds.ac.uk/information.html https://publications.leeds.ac.uk/information.html Researcher@Library OA pages http://library.leeds.ac.uk/open-access http://library.leeds.ac.uk/open-access University Publications Policy http://library.leeds.ac.uk/university-publications http://library.leeds.ac.uk/university-publications HEFCE policy http://www.hefce.ac.uk/whatwedo/rsrch/rinfrastru ct/oa/ http://www.hefce.ac.uk/whatwedo/rsrch/rinfrastru ct/oa/ HEFCE FAQs http://www.hefce.ac.uk/rsrch/oa/FAQ/http://www.hefce.ac.uk/rsrch/oa/FAQ/ Enquiries about OA to research@library.leeds.ac.ukresearch@library.leeds.ac.uk

24. School level help Authors can request support by emailing see- publication@leeds.ac.uksee- publication@leeds.ac.uk